Ng, So Yi 吳素宜
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | Dealing in futures contracts | 2016-06-28 | 2016-07-12 | Rep | Dealing in securities | 2016-06-28 | 2016-07-12 |
| 2 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2017-09-06 | 2019-02-18 |
| 3 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2017-09-06 | 2019-02-18 |
| 4 | Fargo Space Partners Limited | RO | Advising on securities | 2025-03-18 | RO | Asset management | 2025-03-18 |
| 5 | Gentleman Capital Limited | Rep | Advising on securities | 2024-07-30 | 2025-03-01 | Rep | Asset management | 2024-07-30 | 2025-03-01 |
| 6 | GOLDHORSE CAPITAL MANAGEMENT (HK) LIMITED | Rep | Dealing in securities | 2020-06-11 | 2021-01-29 | Rep | Advising on securities | 2020-07-09 | 2021-01-29 |
| 7 | Goldhorse Securities Limited | Rep | Advising on securities | 2021-05-13 | 2021-12-20 | Rep | Dealing in securities | 2021-05-13 | 2021-12-20 | RO | Advising on securities | 2021-12-20 | 2022-12-15 | RO | Dealing in securities | 2021-12-20 | 2022-12-15 |
| 8 | Hong Kong Securities (International) Company Limited | Rep | Dealing in securities | 2012-02-08 | 2013-07-31 |
| 9 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2019-02-25 | 2020-05-17 |
| 10 | Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2019-02-25 | 2020-05-17 |
| 11 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Advising on securities | 2016-08-04 | 2017-08-23 | Rep | Dealing in securities | 2016-08-04 | 2017-08-23 |
| 12 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2016-08-04 | 2017-08-23 |
| 13 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-08-09 | 2016-04-15 |
| 14 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2015-01-09 | 2016-04-15 |
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